Sec. 19a.02.02.04. Application of Exceptions

A. Exceptions Under Limited Circumstances.

(1) The Commission may grant an exception under Regulation .03 of this chapter to an individual who does not meet the criteria of Regulation .03C, D, E, G, or I of this chapter for a specific financial interest if:

(a) The head of the official’s or employee’s governmental unit advises the Commission that the head of the governmental unit does not believe that the financial interest would present a conflict of interest or the appearance of a conflict of interest that would impair the credibility of the governmental unit; and

(b) The Commission concurs in the assessment of the head of the official’s or employee’s governmental unit provided under §A(1)(a) of this regulation.

(2) The Commission may grant an exception under Regulation .03 of this chapter to an individual who does not meet the criteria of Regulation .03A(1) of this chapter for a specific financial interest in an entity if:

(a) The employee or official did not know or have reason to know that the entity is under the authority of the employee or official or of the employee’s or official’s governmental unit;

(b) The employee or official did not know or have reason to know that the entity has or is negotiating a contract with the employee’s or official’s governmental unit;

(c) The entity is not included on any list of entities doing business with the employee’s or official’s governmental unit that is provided by the Commission or is available through the Commission’s website; and

(d) Upon obtaining knowledge of the relationship between the entity and the employee’s or official’s governmental unit, the employee disclosed the financial interest as provided in Regulation .05 of this chapter.

B. The Commission may grant an exception under Regulation .03 of this chapter to an employee who does not meet the criteria of Regulation .03G or H of this chapter for a specific financial interest if:

(1) The employee has limited duties that are defined with sufficient precision regarding time, mode, and occasion that the employee may not exercise substantial discretion or judgment;

(2) The head of the employee’s governmental unit advises the Commission that the head of the agency:

(a) Believes that the service or product to be supplied by the employee would otherwise be unavailable to the State; and

(b) Does not believe that the financial interest would present a conflict of interest or the appearance of a conflict that would impair the credibility of the governmental unit; and

(3) The Commission concurs in the assessment of the head of the employee’s governmental unit provided under §B(2) of this regulation.